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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)23 years in industry

PAUL Anthony FINOCCHIARO

Advisor at LPL ENTERPRISE, LLC

TAMPA, FL

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Search this name across graphsid dfx:ria:bddcd350-9397-e0b0-5c3d-02d9cb88efc2

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 2:08 AM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 2
On other graphs: 0
Observed: Mar 11, 2003 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: LPL ENTERPRISE, LLC
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Mar 11, 2003earliest registration or exam on IAPD
Years in industry: 23derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 6
Current registrations: 1
Registered states: 1
Designations: Certified Financial Planner
Exams: S66|S63
First exam: Oct 14, 2008
First registration: Mar 11, 2003
Dual registered: yes, broker-dealer
IAPD individual key: 4201809

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
LPL ENTERPRISE, LLC	Bd affiliated wealth	Oct 30, 2025	n/a	yes	TAMPA, FL	Current employment
PROSPERITY CAPITAL ADVISORS	Independent wealth	Apr 5, 2024	Jan 2, 2025	no	Bradenton, FL\|WESTLAKE, OH	Previous registration
SOUTHSHORE FINANCIAL PLANNING	State registered	May 24, 2022	Sep 28, 2023	no	TAMPA, FL	Previous registration
SUNTRUST INVESTMENT SERVICES, INC.	Former SEC adviser	Aug 21, 2012	Apr 6, 2016	no	TAMPA, FL	Previous registration
CITIGROUP GLOBAL MARKETS INC.	Bd affiliated wealth	Oct 16, 2008	Aug 21, 2012	no	TAMPA, FL\|Jacksonville, FL	Previous registration
USAA FINANCIAL PLANNING SERVICES	Former SEC adviser	Sep 15, 2004	Sep 11, 2006	no	SAN ANTONIO, TX\|PHOENIX, AZ	Previous registration
VALIC FINANCIAL ADVISORS, INC.	Bd affiliated wealth	Mar 11, 2003	Aug 31, 2004	no	COLUMBIA, SC	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
PROSPERITY CAPITAL ADVISORS	LPL ENTERPRISE, LLC	Jan 2, 2025	Oct 30, 2025	301	Firm change	RIA to ibd
SOUTHSHORE FINANCIAL PLANNING	PROSPERITY CAPITAL ADVISORS	Sep 28, 2023	Apr 5, 2024	190	Firm change	Other
SUNTRUST INVESTMENT SERVICES, INC.	SOUTHSHORE FINANCIAL PLANNING	Apr 6, 2016	May 24, 2022	2,239	Firm change after gap	Other
CITIGROUP GLOBAL MARKETS INC.	SUNTRUST INVESTMENT SERVICES, INC.	Aug 21, 2012	Aug 21, 2012	0	Firm change	Other
USAA FINANCIAL PLANNING SERVICES	CITIGROUP GLOBAL MARKETS INC.	Sep 11, 2006	Oct 16, 2008	766	Firm change after gap	Other
VALIC FINANCIAL ADVISORS, INC.	USAA FINANCIAL PLANNING SERVICES	Aug 31, 2004	Sep 15, 2004	15	Firm change	Other

Relationships

Registered with (7)

→ LPL ENTERPRISE, LLCRegistered adviserregistration: current employment
Oct 30, 2025 to presentfactForm ADV
→ PROSPERITY CAPITAL ADVISORSRegistered adviserregistration: previous registration
Apr 5, 2024 to Jan 2, 2025factForm ADV
→ SOUTHSHORE FINANCIAL PLANNINGRegistered adviserregistration: previous registration
May 24, 2022 to Sep 28, 2023factForm ADV
→ SUNTRUST INVESTMENT SERVICES, INC.Registered adviserregistration: previous registration
Aug 21, 2012 to Apr 6, 2016factForm ADV
→ CITIGROUP GLOBAL MARKETS INC.Registered adviserregistration: previous registration
Oct 16, 2008 to Aug 21, 2012factForm ADV
→ USAA FINANCIAL PLANNING SERVICESRegistered adviserregistration: previous registration
Sep 15, 2004 to Sep 11, 2006factForm ADV
→ VALIC FINANCIAL ADVISORS, INC.Registered adviserregistration: previous registration
Mar 11, 2003 to Aug 31, 2004factForm ADV

Dated events

Occurred
Jan 2, 2025
Advisor changed firm
Paul Anthony Finocchiaro left Prosperity Capital Advisors for Lpl Enterprise, Llc (registered 2025-10-30)
Form ADVobserved 6 days ago
Occurred
Sep 28, 2023
Advisor changed firm
Paul Anthony Finocchiaro left Southshore Financial Planning for Prosperity Capital Advisors (registered 2024-04-05)
Form ADVobserved 6 days ago